SEC Rule 606 Report
- Merrill Lynch - 4th Qtr, 2017
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.58 |
0.75 |
98.67 |
| DirectEdge ECN (EDGX) |
32.08 |
8.25 |
15.67 |
32.34 |
| New York Stock Exchange |
15.78 |
32.42 |
7.18 |
15.75 |
| NYSE Arca |
15.10 |
1.86 |
10.43 |
15.21 |
| Nasdaq |
11.88 |
2.11 |
28.81 |
11.81 |
| BATS Stock Exchange |
8.10 |
1.58 |
6.85 |
8.15 |
| Instinct X |
6.08 |
42.88 |
17.50 |
5.78 |
| DirectEdge ECN (EDGA) |
3.52 |
0.52 |
0.18 |
3.56 |
| NASDAQ OMX PHLX |
1.97 |
0.05 |
0.70 |
1.99 |
| IEX Exchange |
1.73 |
2.01 |
2.82 |
1.72 |
| NASDAQ OMX BX |
1.10 |
0.07 |
7.44 |
1.06 |
3.46% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.88 |
2.61 |
96.52 |
| Nasdaq |
35.39 |
33.76 |
55.29 |
34.87 |
| DirectEdge ECN (EDGX) |
17.87 |
4.44 |
9.03 |
18.23 |
| Instinct X |
12.47 |
46.18 |
13.37 |
12.14 |
| NYSE Arca |
9.41 |
1.30 |
7.18 |
9.55 |
| NASDAQ OMX PHLX |
8.53 |
0.63 |
2.51 |
8.77 |
| BATS Stock Exchange |
6.53 |
1.14 |
2.41 |
6.69 |
| IEX Exchange |
2.51 |
1.94 |
1.80 |
2.53 |
| NASDAQ OMX BX |
2.44 |
0.11 |
5.44 |
2.38 |
| BATS Y Exchange |
1.05 |
0.07 |
1.11 |
1.05 |
| NYSE MKT |
0.78 |
0.04 |
0.04 |
0.81 |
1.72% of total customer orders were non-directed orders.
Securities Listed on NYSE MKT or other National Securities Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.30 |
0.18 |
99.52 |
| Nasdaq |
72.39 |
10.87 |
16.48 |
72.67 |
| DirectEdge ECN (EDGX) |
7.78 |
3.83 |
1.27 |
7.80 |
| NYSE Arca |
6.13 |
14.31 |
19.80 |
6.08 |
| Instinct X |
5.37 |
41.65 |
29.23 |
5.22 |
| BATS Stock Exchange |
3.34 |
4.78 |
2.28 |
3.33 |
| IEX Exchange |
1.01 |
2.77 |
18.29 |
0.97 |
| NASDAQ OMX PHLX |
0.70 |
1.57 |
0.28 |
0.70 |
| NASDAQ OMX BX |
0.64 |
0.36 |
3.30 |
0.64 |
| BATS Y Exchange |
0.61 |
1.15 |
3.57 |
0.61 |
| NYSE MKT |
0.52 |
5.47 |
2.30 |
0.50 |
3.06% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
61.17 |
38.77 |
0.05 |
| Chicago Board Options Exchange |
18.27 |
17.88 |
18.92 |
3.18 |
| Philadelphia Exch |
12.24 |
13.65 |
10.04 |
0.64 |
| International Securities Exchange |
11.70 |
14.21 |
7.72 |
17.83 |
| MIAX Options Exchange |
11.11 |
11.51 |
10.48 |
18.47 |
| NYSE Arca |
9.67 |
7.79 |
12.65 |
0.00 |
| BATS Stock Exchange |
9.06 |
6.15 |
13.65 |
0.00 |
| Boston Options Exchange |
6.00 |
7.00 |
4.38 |
29.94 |
| C2 Options Exchange |
5.80 |
6.95 |
3.98 |
0.00 |
| ISE Gemini |
4.20 |
2.56 |
6.80 |
0.00 |
| DirectEdge ECN (EDGX) |
4.19 |
3.17 |
5.76 |
29.30 |
7.07% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues-Word Document
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